Investors might have sustained losses due to securities broker Donald J. Dever [CRD: 5317492, West Palm Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donald Dever joined UBS Financial Services Inc. on December 2, 2015. Continue reading to learn more about the disclosures involving Dever.
Particularly, a client filed a complaint about Donald Dever. Supposedly, Dever did not follow his instructions. Supposedly, the client wanted the investments “feathered through” to maximize the value. Therefore, the client allegedly sustained damages on over-the-counter equities. On September 1, 2023, UBS Financial Services Inc. settled this matter by paying the client $94,373.73 in damages.
Notably, a client of UBS Financial Services Inc. contested Dever's sales practices, according to a complaint. Allegedly, Dever engaged in unauthorized trading. It appears that Dever allegedly caused the client to sustain damages. Consequently, UBS Financial Services Inc. opted to settle the matter on August 23, 2019, by compensating the client in the amount of $15,500.
Did you experience losses due to Donald Dever? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors across the country, works on a contingency fee basis, and advances all costs. Dever and brokerage firms Dever worked for deny accusations of sales practice violations.
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Investors potentially experienced sales practice violations by securities broker Gary Bryan Frisch [CRD: 5037164, Surprise, Arizona], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frisch worked for Avantax Investment Services Inc. and Avantax Advisory Services from October 25, 2019, through September 5, 2025, and has been registered with Cetera Wealth Services […]
Investors potentially incurred losses because of securities broker Christopher Frederick Chlupp [CRD: 2950578, Wisconsin Dells, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chlupp has worked for Robert W. Baird Co. Incorporated as a securities broker since June 25, 1998, and as a financial advisor since September 24, 1998. Keep reading to […]
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